Nicole H. Tavernier
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicole Helene Tavernier was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 1997. Nicole had worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2018 - July 3, 2025
SG AMERICAS SECURITIES, LLC
July 21, 2014 - January 3, 2018
J.P. MORGAN SECURITIES LLC
October 10, 2012 - March 14, 2013
WINDSOR STREET CAPITAL, LP
January 20, 2010 - October 3, 2012
BUCKMAN, BUCKMAN & REID, INC.
December 6, 2007 - January 15, 2010
MERCER CAPITAL LTD.
April 11, 2005 - February 21, 2007
S.W. BACH & COMPANY
September 28, 1999 - January 3, 2005
PRUCO SECURITIES, LLC.
May 14, 1998 - August 23, 1999
PRUDENTIAL EQUITY GROUP, LLC
July 14, 1997 - April 17, 1998
M.S. FARRELL & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CHIEF EXECUTIVE OFFICER | 6390499 |
| CULLEN, EDWARD PATRICK | OPERATIONAL RISK MANAGER | 1551615 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
